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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Oppenheimer Holdings Inc | NYSE:OPY | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.335 | 0.83% | 40.815 | 40.96 | 40.52 | 40.96 | 8,997 | 18:08:34 |
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Contents
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Report Letter
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1
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Statement of Net Assets Available for Plan Benefits
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3
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Statement of Changes in Net Assets Available for Plan Benefits
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4
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Notes to Financial Statements
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5-10
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Schedule of Assets Held at End of Year
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Schedule 1
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December 31
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December 31
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2019
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2018
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Assets
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Participant - directed investments:
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Money market funds
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$
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46,769,081
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$
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38,100,764
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Mutual funds
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380,822,397
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314,649,606
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Oppenheimer Holdings Inc. - Common stock
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19,143,145
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18,380,312
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Cash surrender value of life insurance policies
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433,589
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434,673
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Total investments at fair value
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447,168,212
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371,565,355
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Contributions receivable - Employer
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2,195,191
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1,948,006
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Cash
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120,072
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542
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Participant notes receivable
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6,957,838
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6,724,087
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Net Assets Available for Plan Benefits
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$
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456,441,313
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$
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380,237,990
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Year Ended December 31
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Year Ended December 31
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2019
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2018
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Additions
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Contributions:
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Employees
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$
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23,974,750
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$
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23,146,156
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Employer
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2,331,494
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1,983,933
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Rollover
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4,064,089
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3,664,513
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Total contributions
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30,370,333
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28,794,602
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Investment income:
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Interest and dividends
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23,372,989
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28,106,036
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Net realized and unrealized gains (losses)
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56,548,402
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(50,812,109
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)
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Total investment income (loss)
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79,921,391
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(22,706,073
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)
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Interest from participant notes receivable
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406,731
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330,189
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Total additions
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110,698,455
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6,418,718
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Deductions
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Benefits paid to participants and beneficiaries
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34,385,194
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26,339,339
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Administrative expenses
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101,987
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113,973
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Life insurance premiums
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7,951
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8,674
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Total deductions
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34,495,132
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26,461,986
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Net Increase (Decrease) in Net Assets Available for Plan Benefits
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76,203,323
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(20,043,268
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)
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Net Assets Available for Plan Benefits
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Beginning of year
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380,237,990
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400,281,258
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End of year
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$
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456,441,313
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$
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380,237,990
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Notes to Financial Statements
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December 31, 2019 and 2018
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Years of Service
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Vested Percentage
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Less than 2 years
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0
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%
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2 years but less than 3
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20
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%
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3 years but less than 4
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40
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%
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4 years but less than 5
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60
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%
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5 years but less than 6
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80
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%
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6 years or more
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100
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%
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Notes to Financial Statements
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December 31, 2019 and 2018
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Notes to Financial Statements
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December 31, 2019 and 2018
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Notes to Financial Statements
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December 31, 2019 and 2018
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Notes to Financial Statements
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December 31, 2019 and 2018
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Assets at Fair Value as of December 31, 2019
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Quoted Prices in Active Markets for Identical Assets (Level 1)
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Significant Other Observable Inputs (Level 2)
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Balance at December 31, 2019
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Mutual funds
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$
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380,822,397
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$
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—
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$
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380,822,397
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Common stock - Oppenheimer Holdings Inc.
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19,143,145
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—
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19,143,145
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Money market funds
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46,769,081
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—
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46,769,081
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Cash surrender value life insurance policies
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—
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433,589
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433,589
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Total investments at fair value
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$
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446,734,623
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$
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433,589
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$
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447,168,212
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||||||
Assets at Fair Value as of December 31, 2018
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Quoted Prices in Active Markets for Identical Assets (Level 1)
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Significant Other Observable Inputs (Level 2)
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Balance at December 31, 2018
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Mutual funds
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$
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314,649,606
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$
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—
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$
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314,649,606
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Common stock - Oppenheimer Holdings Inc.
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18,380,312
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—
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18,380,312
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Money market funds
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38,100,764
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—
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38,100,764
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Cash surrender value life insurance policies
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—
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434,673
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434,673
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Total investments at fair value
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$
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371,130,682
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$
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434,673
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$
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371,565,355
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(a)(b)
Identity of Issuer, Borrower,
Lessor, or Similar Party
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(c)
Description of Investment
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(d)
Cost
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(e)
Current Value
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Oppenheimer Holdings Inc.
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Oppenheimer Holdings Inc. - Common stock**
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*
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$
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19,143,145
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Federated
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Governmental Obligations Institutional - Money market fund
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*
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46,754,580
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Deutsche Money Market Inst
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Deutsche Money Market Institutional - Money market fund
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*
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14,501
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Artisan Investments
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Artisan Mid Cap Fund - Mutual fund
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*
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23,829,194
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American Funds
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Growth Fund of America - Mutual fund
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*
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44,209,740
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Columbia
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Columbia Dividend Fund A - Mutual fund
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*
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12,918,214
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Columbia
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Columbia Large Cap Index - Mutual fund
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*
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34,383,709
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Blackrock
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Blackrock Infl Protected Bond I - Mutual fund
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*
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5,587,222
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American Funds
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EuroPacific Growth Fund - Mutual fund
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*
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34,869,407
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First Eagle
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First Eagle Global Fund - Mutual fund
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*
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20,462,795
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Invesco
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Invesco Small Cap Growth Fund - Mutual fund
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*
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18,173,469
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Invesco
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Invesco Real Estate Fund - Mutual fund
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*
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13,913,205
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IVA
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IVA Worldwide Fund - Mutual fund
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*
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15,212,240
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Victory
|
Victory Integrity Small Value - Mutual fund
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*
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18,416,951
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JPMorgan
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JPMorgan Core Bond Fund - Mutual fund
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*
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8,277,370
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Loomis Sayles
|
Loomis Sayles Bond Fund - Mutual fund
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*
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13,310,640
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MFS Investment Management
|
MFS International New Discovery Fund - Mutual fund
|
*
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12,674,321
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Oakmark
|
Oakmark Equity & Income Fund - Mutual fund
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*
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13,354,491
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Oppenheimer Funds Inc.
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Oppenheimer Developing Markets - Mutual fund
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*
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15,177,985
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Janus Henderson
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Janus Henderson Mid Cap Value - Mutual fund
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*
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4,572,784
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Vanguard
|
Vanguard Interim Term Treasury - Mutual fund
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*
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12,513,293
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Wells Fargo
|
Wells Fargo Adv Growth Admin - Mutual fund
|
*
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21,382,525
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American Funds
|
American Wash Mutual Inv Fund
|
*
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37,582,842
|
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Insurance contracts
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Policy Number 4000364
|
*
|
133,510
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|
|
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Policy Number 4000306
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*
|
123,896
|
|
|
|
Policy Number 4000335
|
*
|
5,583
|
|
|
|
Policy Number 4000370
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*
|
158,931
|
|
|
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Policy Number 4000347
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*
|
11,669
|
|
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Participants**
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Participant notes receivable, with interest rates ranging from 4.25 percent to 9.00 percent
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-
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6,957,838
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Total
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$
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454,126,050
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*Cost information not required
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**Party-in-Interest, as defined by ERISA
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1 Year Oppenheimer Chart |
1 Month Oppenheimer Chart |
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